Investment Associate
- Trading
- Execute trades in client accounts promptly and accurately, covering cash flow management, strategy changes, tax loss harvesting, etc.
- Review portfolio drift from models, share findings with advisors, and collaborate on rebalancing decisions as needed.
- Maintain cash levels to ensure portfolios are optimized, avoiding excessive or insufficient cash holdings.
- Ensure accurate trade execution; implement safeguards for error detection, report errors to the CCO, and document them in the trade error log.
- KPI: Maintain a trade error rate below 0.50%.
- Complete assigned Salesforce trade cases, ensuring proper documentation and tracking.
- Investment Team Support
- Work alongside Investment Analyst to facilitate the firm’s weekly, monthly, and quarterly investment team meetings
- Build agendas for the meetings that highlight important and timely issues for the team.
- Organize quarterly guest speakers, bringing in industry leaders and fund managers for educational insights.
- Document and distribute comprehensive meeting notes, tracking discussions, decisions, and action items.
- Responsible for ensuring adequate and timely follow-through on action items derived from investment team meetings.
- Data Management
- Manage the daily data feed, ensuring accurate reporting and setup in Wealthscape, Advyzon, and Salesforce.
- Responsible for data reconciliation, quality checks, and aggregation.
- Identify and recommend enhancements to improve data management processes based on system capabilities.
- Document data processes in Guru and promote firm-wide adherence.
- Portfolio Management
- Assist with portfolio research and management tasks as required.
- Generate rebalancer reports for client meetings, supporting advisors in reviewing trade recommendations.
- Respond to investment-related client inquiries by working directly with the client's advisor team to provide timely and accurate responses.
- Morningstar Direct
- Develop proficiency in Morningstar Direct, eventually becoming a subject matter expert.
- Responsible for direct uploads into Morningstar, reporting, and providing analysis to the advisor team.
- Compliance
- Assist the CCO with compliance-related investment tasks, specifically those related to gathering investment-related information about our clients.
- Conduct checks on trade activities, verifying compliance and ethical standards are met.
- Complete ongoing compliance tasks such as trading accuracy checks, portfolio suitability reviews, share class selection assessments, and fund due diligence.
- 401k Investment & Due Diligence
- Conduct due diligence on funds and provide commentary supporting the investment thesis.
- Work directly with Retirement Plan Advisor to effectuate fund changes
- Prepare and review quarterly retirement plan investment reports.
- Perform ad hoc fund analysis and comparative reports to highlight firm value.
- Investment Analyst Support
- Provide support to the Investment Analyst on ad hoc projects such as monthly billing, research projects, pitch decks, and more.
- Bachelor’s degree in finance, economics, or a related field; or equivalent experience.
- Strong analytical, organizational, and communication skills.
- Exceptional attention to detail with a focus on compliance and accuracy in financial reporting.
- Demonstrated ability to work both independently and as part of a collaborative team.
- Expert proficiency in Microsoft Excel, including the use of advanced formulas, pivot tables, charts, macros, VBA, Power Query, Power Pivot, and Power BI.
- Minimum of 2 years of experience in trading support, portfolio management, or investment data management.
- Proficiency with financial tools and platforms, such as Wealthscape, Advyzon, Morningstar, and Salesforce.
- Adherence to all company policies and regulatory requirements.
- Timely completion of compliance training as required by company policies or regulatory agencies.
- Maintain confidentiality and integrity of client data and adhere to the firm's ethical standards.
- Ability to work on a computer for extended periods.
- Occasional lifting of files and other office materials, up to 20 pounds.
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